Required Paperwork for Transfer

Custodial

IRA Custodian to IRA Custodian

• Custodian’s Transfer Paperwork
• Signed and Medallion Signature guaranteed by releasing and accepting Custodians

IRA Custodian to Individual

• Custodian’s Transfer Paperwork
• Signed and Medallion Signature guaranteed by releasing Custodian (must have Investor SSN)

Individual Re-Registration

Individual to Trust

• Letter of Instruction signed by Investor(s)
• Copy of the Title and notarized signature page of the Trust (or affidavit of trust)
• W-9 is needed if registration is to new tax id

Adding a Joint Tenant

• Letter of Instruction with Signature of original investor and the new investor and social security number.
• FINRA Transfer Form

Gift

Individual to Individual as a Gift

• Letter of Instruction
• FINRA Transfer Form with Medallion Signature Guaranteed by transferor and transferee

Death

Transfer to Trust After Death

• Copy of the Will showing the specific established Trust it should be transferred into.
• Original Certified Death Certificate
• W-9 for the Trust (if applicable)

Individual to Estate

• Letter of Instruction
• Original Certified Death Certificate
• Letters Testamentary (or will stating executor/executrix)
• W-9 for individual, or estate tax id

Individual to Individual due to death

• Letter of Instruction
• Original Certified Death Certificate
• Letters Testamentary (or will stating executor/executrix)
• FINRA Transfer Form

Joint Tenant to Individual due to death

• Letter of Instruction
• Original Certified Death Certificate
• W-9 if tax id is under the decedent party

Individual or Joint Tenant to Transfer on Death Beneficiary

• Letter of Instruction
• Original Certified Death Certificate
• FINRA Transfer Form

Re-Registration to Transfer on Death

Only individuals whose registration is sole ownership or joint tenants with right of survivorship may obtain registration in beneficiary form.

• Transfer on Death Agreement and Beneficiary

Trusts

Trust to Subscriber

• Letter of Instruction
• Dissolution of Trust document (only if applicable)
• FINRA Transfer Form

Change of Trustee

• Letter of Instruction
• Trust pages: Title, Notarized Signature, and Successor trustee pages (only if new Trustee is not on current registration)
• Original Certified Death Certificate (if applicable)
• W-9 if there is a change of Tax Id

Note: The forms are in PDF format and require Adobe Acrobat Reader v4.x or higher. If you don't have it, click here to download a free copy to install. This is required to view and print the form.